we are Project Managers who improve Processes

USING OPERATIONAL EXCELLENCE TO DRIVE INVESTMENT ADVISER SUCCESS

Is Your Operations Department A Delivering A Competitive Advantage?

Work with us to stay ahead of evolving client expectations, employee needs, and find the technological advances that help manage errors.

Operations management is now a multidisciplinary functional area.

Our deep industry experience and facility for working within operational complexity helps us improve how your systems and people are deployed in the most effective and efficient ways possible.

We'll help you identify the smart investments that will meet evolving client expectations, employee needs and make the highest use of advances in technology.

Planning, Organizing, and Improving Processes

Lower risk and raise profitability.

We work with you to help ensure that your everyday operations support the your firm's investment departments and distribution efforts.

We provide analysis of operations functions against leading industry practices and the challenges of our regulatory environment.

THE CHALLENGE: WHEN IT COMES TO OPERATIONS, IT'S HARD TO KNOW HOW MUCH IS ENOUGH

Can a cost center be a competitive advantage?

If your organization doesn't build in enough operational capacity to serve current client needs, you could compromise future growth. But if you take on too much, performance can become sluggish and inefficient. So, the answer is "it depends."

SOLUTION: INVEST IN OPERATIONAL EXCELLENCE TO IMPROVE THE VALUE OF YOUR BUSINESS

Imagine using your operations function so efficiently you're able to consistently deliver on client promises while setting the stage for long-term growth.

The operations department drives a wide range of support to all of a firm’s investment services as well as its distribution channels. Sitting at the nexus of products and processes, the operations department can make or break your client's experience. If your operations processes are leaking, we'll help your firm identify gaps and make strategic investments that turn operations into a competitive advantage by reducing regulatory risk and lowering the cost of doing business - including self-inflicted errors.

We'll work with you to develop a plan that focuses more of your resources on your biggest sources of revenue, and educate your staff on how to meet your operational needs while using technology to reduce costs.

The Benefit of Working with ReGroup

REGROUP WILL

Engage your team

Get the facts right

Recognize key obstacles

Map cross-department information flow

Analyze breaks in current processes

Recommend workable solutions

SO YOU CAN

“ReGroup's assessment gave our senior management team greater insight into the needs of our trading and operations teams, and the resulting procedures provided an elegant way to reduce our historical over-reliance on a single experienced employee.” – Daniel H., Director of Operations

"Our firm's growth was faster than we anticipated, and our legal and compliance services didn't keep up. When we also needed to support changes in key professionals and expansion into Asia, we knew it was time to rethink our structure and resources in a smarter way to support the firm. ReGroup's industry knowledge and actual experience in the job was immediately credible. The process was efficient, smart, and thorough. Our results are happier internal clients, a lower-stress environment, and a more nimble ability to serve the firm's needs while managing costs."

I don’t normally find FINRA tools to be of much use to IAs, but the Small Firm Cybersecurity Program Checklist is a rare and excellent exception that encourages a collaborative approach to understanding your firm’s risks and developing and implementing a thoughtful cybersecurity plan.

Having sat through countless conference sessions and webinars focused on cybersecurity issues, I can say with 100% certainty that yours was the best I’ve seen. The practical/real world compliance angle separated it from all the others.